{ "media_type": "text", "post_content": "I have an in-house interview coming up, for a job that will cover SEC regulatory investigations and inquiries. I have experience with that, but don't have a global view on trends and key areas. Can anyone recommend some reading for me to do, or free CLEs so I can prepare for the interview? Thanks!", "post_id": "6101de9b0c97a70020181f1c", "reply_count": 3, "vote_count": 1, "bowl_id": "5dc50686129b3e0021a249b4", "bowl_name": "In-House Counsel" }

I have an in-house interview coming up, for a job that will cover SEC regulatory investigations and inquiries. I have experience with that, but don't have a global view on trends and key areas. Can anyone recommend some reading for me to do, or free CLEs so I can prepare for the interview? Thanks!

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Look at PLI. they’re not going to ask you a ton of specific details so if you’ve ever done one or two sec investigations (or similar regulatory ones) leverage that experience. Really a regulatory investigation is just higher stakes. The processes are mostly the same.

Lexology and JDSuora websites will have tons of alerts. Call you law school law library to ask if there is something too. For anything global, look at DLA and Baker's websites to see if they have guides. Good luck!

Knowing a bit about what’s on the annual FINRA focus list should suffice from a macro level. https://www.finra.org/media-center/newsreleases/2021/finra-publishes-2021-report-finras-examination-and-risk-monitoring

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